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Implementing enhanced OAI-PMH requirements for
Europeana
Nikos Houssos1, Kostas Stamatis1, Vangelis Banos2, Sarantos Kapidakis
3,
Emmanouel Garoufallou4 and Alexandros Koulouris
5
1 National Documentation Centre, Greece
2Veria Public Library, Greece 3Laboratory on Digital Libraries and Electronic Publishing, Department of Archive and
Library Sciences, Ionian University, Greece 4 Technological Educational Institute of Thessaloniki, Greece
5Technological Educational Institute of Athens, Greece
[email protected] , [email protected] , [email protected] , [email protected] ,
[email protected] , [email protected]
Abstract. Europeana has put in a stretch many known procedures in digital
libraries, imposing requirements difficult to be implemented in many small
institutions, often without dedicated systems support personnel. Although there
are freely available open source software platforms that provide most of the
commonly needed functionality such as OAI-PMH support, the migration from
legacy software may not be easy, possible or desired. Furthermore, advanced
requirements like selective harvesting according to complex criteria are not
widely supported. To accommodate these needs and help institutions contribute
their content to Europeana, we developed a series of tools. For the majority of
small content providers that are running DSpace, we developed a DSpace plug-
in, to convert and augment the Dublin Core metadata according to Europeana
ESE requirements. For sites with different software, incompatible with OAI-
PMH, we developed wrappers enabling repeatable generation and harvesting of
ESE-compatible metadata via OAI-PMH. In both cases, the system is able to
select and harvest only the desired metadata records, according to a variety of
configuration criteria of arbitrary complexity. We applied our tools to providers
with sophisticated needs, and present the benefits they achieved.
Keywords: OAI-PMH, Europeana, EuropeanaLocal, Tools, DSpace Plug-in,
Interoperability, Information integration, Metadata harvesting, Europena
Semantic Elements
1 Introduction
Europeana is an evolving service, which will constitute an umbrella of European
metadata from distributed cultural organisations. Europeana currently gives access to
more than 14 million items representing all Member States including film material,
photos, paintings, sounds, maps, manuscripts, books, newspapers and archival papers.
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The Europeana service [1] is designed to increase access to digital content across
Europe’s cultural organisations (i.e. libraries, museums, archives and audio/visual
archives). This process will bring together and link up heterogeneously sourced
content, which is complementary in terms of themes, location and time. Europeana’s
active partner network consists of 180 organisations till now.
In order to achieve these goals, the European Union launched in June 2008 the
EuropeanaLocal project in the framework of the eContentPlus program. Up to June
2011, the EuropeanaLocal partners aim to make available to Europeana more than 20
million items, held across 27 countries. At the same time, they are committed to
exploring and developing efficient and sustainable processes and governance
procedures so that the growing numbers of regional and local institutions can easily
make their content available to Europeana in the future by adopting and promoting the
use of its infrastructure, tools and standards [2].
Greece is participating in EuropeanaLocal with content providers and the Hellenic
Aggregator created and supported by the Veria Central Public Library (VCPL). Since
March 2010, 10 content providers, from which 7 use DSpace, have followed closely
the Europeana standards, thus implementing full support for Europeana Semantics
Elements (ESE) and have been harvested successfully by the VCPL Aggregator
(http://aggregator.libver.gr) and Europeana [3]. In March 2011, the Hellenic
Aggregator provided 130.000 items to Europeana.
One of the most important aspects in the process of creating a Europeana
Compliant digital repository is the support for ESE, which is virtually a new Dublin
Core Profile, developed by Europeana in order to fulfill its operational requirements.
Existing digital repository software in general does not support ESE by default as it is
the case with Dublin Core. Nevertheless, the nature of the formats makes it feasible to
alter existing software and data in order to add support for ESE. Specific information
about the process can be found at the DSpace plugin for Europeana Semantic
Elements webpage [4], developed by the Veria Central Public Library (VCPL) and
the Hellenic National Documentation Centre (EKT).
The first step in the process is to use the Europeana XML Namespace
http://europeana.eu/schemas/ese/ and augment existing systems’ configuration in
order to support the additional ESE elements. After implementing ESE support, the
repository has to be populated with the appropriate metadata values. This task can be
either performed manually through the appropriate user interface of each digital
library or automatically by using special software tools developed for this purpose. It
must be noted that due to the wide usage of the DSpace software internationally and
in Greece, the focus has been the implementation of tools for this specific platform.
Except from DSpace and other modern digital repository platforms, there are also
numerous digital libraries built with older or closed source technologies or legacy
software which do not support OAI-PMH or any other form of automatic metadata
exchange. In these cases, special techniques should be applied in order to extract
metadata through plain HTTP requests, for example the DEiXTo tool.
DEiXTo (or ∆EiXTo) [5] is a powerful freeware web data extraction tool, based on
the W3C Document Object Model (DOM), created by an independent software
developer. It allows users to create highly accurate "extraction rules" (wrappers) that
describe what pieces of data to scrape from a web page. When used appropriately,
DEiXTo can extract meaningful metadata from web pages of non standards compliant
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digital content collectionsand generate appropriate Dublin Core and ESE records.
These records can be utilised by any standards compliant metadata harvester in order
to be included in Europeana.
This paper analyses a toolset for data providers that mainly targets owners of small
collections that are running DSpace (i.e. the DSpace plug-in, which converts and
augments the DSpace metadata according to Europeana ESE requirements) as well as
systems with different software, incompatible with OAI-PMH. Focus is also on the
system ability to select and harvest only the desired metadata records, according to a
variety of configuration criteria of arbitrary complexity that is applied in both cases.
The structure of the rest of the present text is as follows: Section 2 describes the
advanced harvesting requirements addressed by our solution and the motivation based
on practical needs of data providers. Section 3 presents related work and section 4
elaborates on the actual solution. Section 5 describes the application of the proposed
approach in real use cases, while the last section of the article provides summary,
conclusions and plans for further work.
2 The Case for Enhanced OAI-PMH Compliant Data Providers
The ubiquitous OAI-PMH protocol provides an interoperability framework based on
metadata harvesting. Two types of entities exist in a typical OAI-PMH interaction: the
data provider that exposes metadata to interested clients and the service provider that
offers value-added services on top of metadata collected from data providers.
The recent proliferation of repositories worldwide has created a favourable
environment for the emergence of content aggregators that act as OAI-PMH service
providers collecting metadata-only records from individual data sources. Aggregators
provide unified search and browse functionality as well as the foundation and
infrastructure for advanced value-added services that become particularly meaningful
when provided over content of substantial size. A number of important aggregators
with international coverage and diverse scope have entered the scene in the last few
years. Distinctive examples are Europeana, the European digital heritage gateway,
DRIVER and OpenAIRE (repositories of peer-reviewed scientific publications) and
DART Europe (European portal to research theses and dissertations).
Compatibility with aggregators is nowadays a sine qua non pre-requisite for
repositories, since it provides increased visibility, enables content re-use and allows
participation of individual collections to the evolving global ecosystem of
interoperable digital libraries. In this context, it is becoming an increasingly common
requirement for repositories to provide for retrieval by an aggregator only a subset of
the metadata records it contains, essentially enabling selective harvesting. This may
be needed for various reasons; certain indicative use cases include the following:
• The aggregator collects only records that meet specific criteria concerning IPR,
copyright and open access:
o Records are included in the harvesting set only when there is a freely
accessible digital item (eg full text articles, books, etc.). Such policies are
followed by Europeana, DRIVER, OpenAIRE and DART Europe.
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o Only metadata records which are themselves freely available for various
uses, ideally through appropriate licensing (e.g. Creative Commons). This is
required, for example, by Europeana.
• Thematic aggregators collect only records for content in specific subject areas,
while individual repositories can be interdisciplinary. Such is the case with the
VOA3R aggregator on Agriculture and Aquaculture. Europeana can be also
considered an analogous example, since in initial stages of development
concentrates on collecting mainly cultural heritage content (e.g. peer-reviewed
journal articles are not included).
• The aggregator collects only records for content of a specific type (e.g. theses,
like DART Europe), while individual repositories may contain different types.
The above indicate the complexity of supporting selective harvesting. This
requirement becomes more difficult to achieve when you consider that a repository is
likely to provide records to more than one aggregators, each with different
requirements. Typically, OAI-PMH sets are implemented within repository platforms
in a static fashion, through the creation of one set per individual collection in the
repository. This approach is clearly not sufficient because, as is evident from the
above examples, the desired sets to harvest may contain records spread over different
collections. For practical needs to be satisfied and capabilities provided by the OAI-
PMH sets specifications to be fully exploited, more sophisticated mechanisms are
required, for example “virtual” sets that are dynamically formed per request based on
specific conditions – a solution perfectly compatible with OAI-PMH.
Another important aspect and use case of selective harvesting is the retrieval of
records from systems that are not compliant with OAI-PMH. These might include
legacy systems like custom, non-standard databases, bibliographic catalogs of
Integrated Library Systems connected with the corresponding digital material, etc. A
common case is that such systems contain an array of diverse records, many of them
not relevant for particular aggregators. Therefore, filtering needs to be applied,
possibly according to complex criteria with a local, collection-dependent character.
Crucial aspects for the success of this task are the adoption of a systematic way of
implementing and injecting into the harvesting logic the filtering functionality, as well
as repeatability of this procedure that enables periodic updates of metadata in the
aggregator that reflect changes of records within the source systems. It is worth noting
that the optimal option for content providers of this kind would be to provide their
digital content through a repository platform, so that a holistic, standards-compliant
solution is applied for the management of their digital material and metadata, enabling
advanced services such as digital files preservation, curation, persistent identification,
full-text indexing, etc.; however, this might not be feasible in the near term (e.g. due
to lack of resources).
Addressing the above requirements and issues constitute the main aims of the
system and approach presented in this paper, elaborated in Section 4.
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3 Related Work
Mazurek et al [6], present the idea, role and benefits of a selective harvesting
extension of the OAI-PMH protocol, developed and applied in Polish digital libraries
in frame of the ENRICH project. Specifically, they describe the OAI-PMH protocol
extension developed by the Poznan Supercomputing and Networking Center, which
allows harvesting of resources based on a search query specified in the Contextual
Query Language. This selective harvesting extension is being used by the Polish
national aggregator, which enables extended selective harvesting at the national level.
It is notable that in this approach filtering criteria are specified directly from the side
of the aggregator.
The concept, implementation and practical application of the OAI-PMH protocol
extension is also presented at the Mazurek, Mielnicki and Werla [7] JCDL 2009
poster.
Finally, Sanderson Young and LeVan [8], briefly contrast the information retrieval
protocols SRW/U (the Search/Retrieve Web service) and OAI (Open Archives
Initiative), their aims and approaches, and then, they describe ways in which these
protocols have been or may be usefully co-implemented.
A common limitation of the aforementioned approaches is that data is retrieved
from data sources through queries in standard query languages like CQL. In practical
situations it is frequently the case that such queries cannot fulfill the custom and
complex selective harvesting requirements for data providers, as demonstrated also in
the use case of paragraph 5.2. Furthermore, this solution requires a full-fledged query
language to be implemented against a variety of back-end systems / data sources,
while the approach proposed in this paper requires from data providers to implement
only the specific bulk data loaders and filters that are necessary / useful in their
particular case.
The University of Minho has developed an OAI Extended AddOn for DSpace [9],
which enables selective harvesting through the incremental, piece-wise addition of
objects like filters in the OAI-PMH server. The solution is bound to DSpace and does
not support retrieval from legacy, non OAI-compliant sources, since, compared with
our approach, there is no abstraction neither of the data records nor the data loading
and output generation functionalities.
4 An Innovative Approach to Implementing Enhanced Data
Providers
The main idea of our approach is to enhance an OAI-PMH server (data provider) with
a number of important capabilities particularly related to selective harvesting, while
maintaining full compatibility with the protocol and respecting the OAI-PMH
“contract” towards clients. These capabilities are the following:
• Dynamic definition of sets and their membership, possibly based on complex
criteria that do not correspond to the coarse-grained and static classification of
repository records in pre-defined sets and cannot be expressed with typical query
languages used by systems like federated search platforms.
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• A systematic way to introduce to an OAI-PMH server implementation advanced
logic necessary for selective harvesting such as transformations among different
formats and schemata, filtering and updating of data. Incremental development
and piece-wise enhancement of selective harvesting logic at fine levels of
granularity are important relevant requirements as is the simplicity and separation
of concerns among developers of different parts of the OAI-PMH data provider.
For example, the technical person creating or updating filters and crosswalks for
the implementation of harvesting use cases should not need to be aware of
harvesting or OAI-PMH specific technology and can thus concentrate on
improving the filtering or update functionality per se.
• Support of a modular implementation that enables retrieval of metadata records
from a variety of non OAI-PMH sources via simple extensions to the core
architecture for data loading, tranformation and exporting in the desired formats
and schemata. This is highly important, since vast sets of important content are
“hidden” behind legacy, custom-made applications that do not follow state-of-t-
art interoperability standards and are thus deprived of their potentially significant
impact for end users and other stakeholders like value-added services developers.
To achieve the above, we have designed according to these principles and
developed a modular component called transformation engine. This component has
been successfully incorporated in OAI-PMH server implementations for two types of
systems: (a) OAI-PMH–compliant repositories, in particular running the DSpace
platform, that have been enriched with selective harvesting functionality and (b)
Z39.50-compliant bibliographic catalogs of metadata records, possibly with links to
digital material, that have been enhanced with OAI-PMH data providers which enable
pre-processing, mapping metadata entries to OAI-PMH clients requirements and also
support repeatability of the procedure at periodic time intervals, as is common for
OAI-PMH compliant sources.
The rest of this chapter is structured as follows: First, a detailed description of the
transformation engine is provided, followed by a report on the implementation of the
two aforementioned distinct use cases.
4.1 The Transformation Engine
Figure 1. Architecture of the transformation engine.
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The transformation engine is a generic framework for implementing data
transformation workflows. It allows the decoupling of communication with third party
data sources and sinks (e.g. loading and exporting/exposing data) with the actual tasks
that comprise the transformation. Furthermore, it enables the decomposition of a
workflow into autonomous, modular pieces (transformation steps), facilitating the
continuous evolution/re-definition of workflows to constantly changing data sources
and the development of fine-grained workflow extensions in a systematic way. It is
worth noting that the transformation engine is an independent component that is used
in a modular fashion in the proposed toolset. It has been used by EKT as an
autonomous module in a variety of contexts, for example for the population of digital
repositories of Greek public libraries [10] with metadata from ILS catalogues.
A key aspect of the engine’s design is the Record abstraction. Metadata records are
represented by a hierarchy of classes extending the abstract Record class. A simple
common interface for all types of records proved adequate to allow complex
transformation functions. Examples of record implementations that have been
implemented and used until now concern UNIMARC, MARC21, Dublin Core, ESE,
various structured formats for references (e.g. BibTex, RIS, Endnote) while there is
also a more general abstraction for XML records. The main methods of the Record
interface are shown in the following:
public abstract List<String> getByName(String elementName);
public abstract void removeField(String fieldName);
public abstract void addField(String fieldName,
ArrayList<String> fieldValues);
public void updateField(String fieldName, ArrayList<String>
fieldValues)
As depicted in Figure 1, data loaders are used to read data from external sources
(e.g. files, repository databases, Z39.50 servers, even OAI-PMH data providers) and
forward it to the transformation workflows in the form of a certain syb-type of
Record. The output generators undertake the exporting / exposing of records to third
party systems and applications. The transformation workflow(s) is the place where the
actual tasks are executed. A workflow consists of processing steps, each of which
falls most of the time into one of the two following categories: Filters determine
whether an input record will make it to the output. Modifiers can perform operations
on record fields and their values (e.g. add/remove/update field). Initializers initialize
data structures that are used by processing steps. By using the record interface in the
implementation of entities like filters and modifiers a great degree of separation of
concerns is achieved (for example, knowledge of the specifics of MARC is not
necessary for a developer to create a modifier that performs some changes on an input
MARC record).
A workflow is defined as a series of processing steps in a configuration file outside
the source code of the engine, in particular using the dependency injection
mechanisms of the Spring framework. Thus, a tranformation engine system can
include many data loaders, output generators and transformation steps, but a specific
scenario (being described a Spring configuration XML file) can make use of only
some of them according to the user needs.
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4.2 Extending the OAI-PMH-compliant Harvesting Server of a Repository
An obvious use case of the proposed mechanism is the enhancement of modern
repository platforms that already support OAI-PMH with the aforementioned
advanced functionality. In particular, we have incorporated the transformation engine
in the OAI-PMH module of the DSpace platform, which is the most popular
repository platform in Greece (also among the contributors to Europeana Local).
In the vanilla DSpace platform, the harvesting server receives requests through the
DSpaceOAICatalog module, where record filtering is performed, if required,
according to the specifications of OAI-PMH, based on time stamps or set
membership. Following this stage and before sending results to the client, the
DSpaceOAIClosswalk addresses adaptation of the returned records (e.g. modification
of the exposed metadata schema, appropriate adjustments in field values).
This procedure is carried out by the DSpaceOAICatalog and the
DSpaceOAICrosswalk classes depicted in Figure 2.
Figure 2. Enhanced DSpace data provider.
In the proposed enhanced version, the architecture of the DSpace data provider is
modified as depicted in Figure 2. The tasks of record filtering and record adaptation
according to the desired output schema (e.g. ESE) are handled by the Transformation
Engine that is injected into the OAI-PMH server implementation, with Filters
undertaking selection of records and Modifiers the work of the metadata crosswalk.
Selective harvesting is based on virtual, dynamic sets. A virtual set is essentially
defined as the set of repository records that results from a distinct transformation
workflow, i.e. a series of specific filters and modifiers applied on repository metadata
records, as specified in a Spring configuration file. If a particular record is not filtered
during the workflow it is considered a member of the virtual set and is included in the
record set returned to the client.
For the case of Europeana /ESE, specific user-defined classes have been developed
and injected into the transformation engine (e.g. ESERecord, ESEOutputGenerator,
ESEMappingModifier) in a straightforward manner, demonstrating the ease of system
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customisation for developers which are due to the separation of concerns enforced by
the engine’s modular design.
4.3 Enabling OAI-PMH-compliant Harvesting of MARC/Z39.50 Data Sources
Figure 3. Architecture for OAI-PMH compliant harvesting of non OAI-PMH
compliant data sources.
Large volumes of valuable content are hosted today in systems that are not compliant
with OAI-PMH and thus providing them to aggregators like Europeana is a
challenging task. In this use case, based on the DSpace OAI-PMH module, we have
developed an OAI-PMH server that reads UNIMARC data records from Z39.50 data
sources and serves them to OAI-PMH clients (and in particular Europeana), as
depicted in Figure 3. To achieve this, we modified the DSpaceOAICatalog so that
upon receiving a request it triggers the transformation engine. A MARC/Z39.50 data
loader is invoked first to get UNIMARC records (in ISO 2709 or MARCXML
format) from a standard Z39.50 server, using the JZKit open source library, and
transform them, based on the MARC4J tool, into MARCRecord objects
(MARCRecord is an abstraction for MARC records following the aforementioned
Record interface). These objects are relayed to the transformation workflow where
filters are applied for tasks like rejection of records that do not have associated digital
files (e.g. bibliographic records where full text is not available), de-duplication of
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records (in real-life cases, duplicate records may result from retrieval from different
collections, even within the same data source) and modifiers are executed to
transform records to the ESE format and perform various modifications to field values
(e.g. normalisation, adjusting value encoding to Europeana standards). Finally, an
ESE output generator provides the output in the format prescribed by Europeana.
Moreover, as Figure 3 depicts, the Transformation Engine can include a pool of
data loaders, output generators and transformation steps allowing the system to use
any of them for providing data to dissimilar aggregators. And this is possible due to
the system configuration which can be done outside the source code, through XML
configuration files. These files are responsible to initialise the Transformation Engine
with a specific set of transformation steps that will finally produce the right outcome
for the specific aggregator. Thus, the same engine instance can produce totally
different results depending on the needs of a particular aggregator / harvesting case.
It is worth noting that this approach makes the harvesting process periodically
repeatable even when the underlying data sources are not OAI-PMH compatible.
Furthermore, evolution and requirement changes are easily catered for due to the fine-
grained extensibility and modifiability of the transformation engine (e.g. a change in
requirements can be normally easily addressed by writing new filters / modifiers and
including them in the processing workflow and/or by updating existing ones, without
any modification of the core system).
A similar architecture but with more complex logic for data loading and mapping
needs to be applied in the case of data sources not following standard metadata
schemata, for example custom databases of digital material or even unstructured
information in static web pages. Addressing the latter case can be assisted by tools
like DEiXTo, which has been employed also within Europeana Local for collecting
metadata from Greek sources.
5 Real use cases
5.1 The Environment and Data Sets
The Technical Chamber of Greece wants to contribute to Europeana collections that
contain all their current publishing work (TEE digital library), some historical
editions (1932-1980), and their multimedia content on engineers, buildings and
posters.
The descriptions of these objects are in the UNIMARC format, mixed with
descriptions without online objects, which are inappropriate for Europeana.
Additionally, their own content management system provides the above 5 collections
together with other content, from their own regional subdivisions, their journal
subscriptions, etc. The right selection or records has to be performed before they
become available to Europeana.
The metadata records that could be finally contributed to Europeana are
approximately 6800. The most frequent metadata field is dc:subject, which is usually
repeated at least 4 times, and the 28284 subjects that appear, contain 4669 unique
values. The lengthiest field is dc:title with 18 words on average and follows
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dc:description and dcterms:isPartOf with 15, while the dcterms:isPartOf is used in the
97% of the records, and most fields are included once on each record.
Another case, corresponding to enhancing already OAI-PMH compatible data
sources, has been the ability to provide virtual sets/collections of metadata records in
the Greek National Archive of Doctoral Dissertation repository
(http://www.didaktorika.gr / HEDI – a service operated by the National
Documentation Centre) to harvesting clients. The respective repository contains more
than 23.500 thesis records – each of them is assigned to one or more disciplines
according to the Frascati classification. More than 1.000 of them belong to
Agricultural Sciences class or its sub-classes and have been contributed to the
VOA3R thematic aggregator (virtual repository) covering the areas of agriculture and
aquaculture [11].
5.2 Two Practical Applications of the Approach
The most interesting and challenging case of application of the proposed system has
been the delivery of ESE-compliant metadata from UNIMARC records in Z39.50
sources, which was done for the Technical Chamber of Greece. The retrieval of the
desired sets of records was not possible using only queries (e.g. PQF or CQL) to the
Z39.50 server, since the criteria for filtering where quite custom and complex, (e.g.
availability of full-text that was specified in a non-standard way in the metadata
records, filtering of records that are present in the database but are not published by
the Technical Chamber of Greece, etc.) and also de-duplication of records was
required. Using appropriate queries our data loader retrieves an unfiltered super-set of
the appropriate record set, applies the filters, applies the mapping to ESE and
produces and provides to clients the metadata in ESE format. The whole procedure is
repeatable and transparent to harvesting clients, which receive the ESE data through
OAI-PMH without being aware of the underlying complexity. Furthermore,
development of filters and modifiers does not require any knowledge of the MARC
and Z39.50 standards and the structure of MARC records.
In the second case, that of VOA3R, there has been the ability to provide virtual
sets/collections of metadata records in the HEDI repository to harvesting clients. One
virtual set is provided for each field of science and technology as specified in the
Frascati classification – a relevant field exists in each metadata record. This scheme is
being used to provide metadata from this repository to the VOA3R virtual repository.
6 Summary – Conclusions and Future Work
Global efforts, like Europeana, that address many small and heterogeneous content
providers, have indicated the need for advanced tools, to handle common, or less
common, content provider problems. We identified several of those needs, and
developed appropriate tools, to facilitate the harvesting setup and configuration.
With the proposed approach, their OAI-PMH server can apply advanced logic for
selective harvesting such as transformations among different formats and schemata,
filtering and updating of data. Content providers can define dynamic sets to contribute
to Europeana and memberships, without altering their collections. Even when their
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software does not support OAI-PMH, they can use our modular implementation that
enables retrieval of metadata records from a variety of non OAI-PMH sources.
We implemented these tool and extensions and used them in the context of
Europeana providers, to cover their practical needs. This way, they do not have to
perform such task manually, or re-implement functionality that others also implement
or need, and their participation to Europeana will be easier and more flexible,
according to their own collection setup and requirements.
Further work is being planned along various paths. The case studies provided clear
indications that the proposed approach leads to very good performance both in terms
of harvesting speed and consumption of computing and memory resources. A detailed
investigation of performance issues is an interesting extension of the present work.
Other plans include the incorporation of the developed modular tools into various
open source OAI-PMH servers, as well as the application of the proposed approach
with more content providers and a systematic user study to capture their experiences
with the tools in terms of utility and ease of configuration and extension.
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